Felipe Henao Vargas Investigation March 2022- Miami, FL According to publicly available records, Felipe Henao Vargas (aka Felipe Henao) , a currently unregistered broker who was last employed by Insigneo Securities,…
read morePatrick James Dwyer Investigation March 2022 – Miami, FL According to publicly available records Patrick Dwyer , a stockbroker who was previously registered with Merrill Lynch, Pierce, Fenner & Smith discloses…
read moreWilliam Frank Richardson Investigation September 2022-Houston, TX The FINRA records of William “Frank” Richardson, Jr. , a stock broker with Avantax Investment Services, disclose 6 prior customer disputes. The Financial…
read moreMargaret Suite-Arnold Investigation November 2021-China Grove, NC According to FINRA records Margaret Suite-Arnold, a financial advisor employed as a registered broker by FSC Securities Corporation discloses a pending customer dispute.…
read moreRobin Platt Investigation November 2021-Covington, LA According to FINRA records Robin V. Platt, a financial advisor employed as a registered broker by Hancock Whitney Investment Services discloses a multi-million dollar suit…
read moreKurt Gunter Investigation November 2021-Bee Cave, Texas Gunter Sanctioned by FINRA According to his FINRA record Kurt Jason Gunter a financial advisor who was last employed as a registered broker…
read moreRichard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services, discloses a settled customer dispute and a pending customer…
read moreNovember 2021- New York, NY According to publicly available records, William Cerf a broker with UBS Financial Services, discloses 6 pending customer disputes seeking millions of dollars. The Financial Industry…
read moreAustin Dutton Investigation November 2021–Doylestown, PA The FINRA records of Austin R. Dutton, Jr. , a stock broker who was previously employed by Newbridge Securities and who is currently employed by American…
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